Updated Saturday, April 19, 2014 as of 10:54 AM ET
Practice - Regulatory/Compliance
Death of A Client
Wednesday, February 1, 2012
Print
Email
Reprints

I'm a registered investment adviser. In completing the Form ADV Part I there is a question that asks if I "receive research or other products or services other than execution from a broker-dealer or a third party ('soft dollar benefits') in connection with client securities transactions." While I do get some research from the brokerage firm I deal with just for being on their platform, I don't think that would qualify as "soft dollars". Can you clarify?

— D.R., Georgia

Get access to this article and thousands more...

All On Wall Street articles are archived after 7 days. REGISTER NOW for unlimited access to all recently archived articles, as well as thousands of searchable stories. Registered Members also gain access to exclusive industry white paper downloads, web seminars, blog discussions, the iPad App, CE Exams, and conference discounts. Qualified members may also choose to receive our free monthly magazine and any of our daily or weekly e-newsletters covering the latest breaking news, opinions from industry leaders, developing trends and growth strategies.

Already Registered?

Lists
Honoring the Top Branch Managers of 2013

Current Issue

The April Issue is now online!


TWITTER
FACEBOOK
LINKEDIN
Already a subscriber? Log in here